FA News Articles

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Brokerage Firms Say Bonus Disclosure Plan Ignores Costs

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The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

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How A 56-Year-Old Engineer’s $45,000 Loss Spurred SEC Probe

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The civil engineer's loss on a Credit Suisse exchange-traded note (ETN) shows why banks are being pressured by the SEC to beef up disclosures on the products.

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Ex-BP Worker Settles SEC Insider Trading Claims On Spill

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A former official of BP Plc will pay $224,000 to settle U.S. claims that he traded securities based on inside information about the magnitude of the Deepwater Horizon oil spill, the SEC said.

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U.S. Said To Warn Money Managers of More Russia Sanctions

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Officials from the Treasury Department and the National Security Council met in Washington with mutual-fund and hedge-fund managers, according to a person who attended.

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Most Parents Plan To Use Income To Pay For College, Study Says

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Seventy-seven percent of parents expect to partially or fully fund their children’s education and will depend on current income or savings to do so, according to HSBC.

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Rapid LTC Insurance Rate Increases May Halt, Says Trade Group

by FA Staff

Circumstances and calculations have changed so that LTC policies sold now may not experience the same rate increases.

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GAO Faults SEC On Cybersecurity

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Two days after the Securities and Exchange Commission said it would more closely monitor advisors for their computer security, the agency was faulted for its own lapses.

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Half Of Advisors Feel Out Of Control

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Only half of advisors feel somewhat or completely in control of their businesses and their time, according to a new FPA Research and Practice Institute study.

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Fidelity Biotech Fund Among Worst Performers In April Sell-Off

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One of the biotechnology sector's worst two-week declines in the past decade has clobbered one of Fidelity Investments' hottest funds.

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Solving Conflicts When Recommending IRA Rollovers Over Pension Annuities

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How do you help clients make informed decisions and manage the inherent conflict of interest?

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